DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

N••••••• A••••• F•••••••

T•••••••• W••••• M•••••••••state registeredCary, NcIA-onlyIAPD 6908869

Certified Financial Planner

Feed of 09/14/2026

Also filed as Nicholas Faulkner

At current firm

0 y

since Mar 23, 2026

In the industry

10 y

since Oct 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T•••••••• W••••• M••••••••• state registered current
since Mar 23, 2026 · Cary, Nc
I•••••• W••••• independent RIA
May 8, 2025 to Mar 12, 2026 · Chattanooga, Tn
T••••••• W••••• M••••••••• independent RIA
Aug 14, 2024 to Feb 27, 2025 · Raleigh, Nc
D••••••••• F••• A••••••• L• asset manager
May 28, 2024 to Aug 1, 2024 · Austin, Tx
B••••• F•••••••• S••••••••• C•••• independent RIA
Jan 3, 2019 to Jan 28, 2022 · Raleigh, Nc

Moves

a registration end followed by a registration begin elsewhere

I•••••• W••••• to T•••••••• W••••• M•••••••••
left Mar 12, 2026, registered Mar 23, 2026 (11 days) · RIA to a state-registered adviser
T••••••• W••••• M••••••••• to I•••••• W•••••
left Feb 27, 2025, registered May 8, 2025 (70 days) · RIA to RIA
D••••••••• F••• A••••••• L• to T••••••• W••••• M•••••••••
left Aug 1, 2024, registered Aug 14, 2024 (13 days) · Other
B••••• F•••••••• S••••••••• C•••• to D••••••••• F••• A••••••• L•
left Jan 28, 2022, registered May 28, 2024 (851 days) · Other

Signals

N••••••• A••••• F••••••• left I•••••• W••••• for T•••••••• W••••• M••••••••• (registered 2026-03-23)
Mar 12, 2026 · Advisor changed firm · fact
N••••••• A••••• F••••••• left T••••••• W••••• M••••••••• for I•••••• W••••• (registered 2025-05-08)
Feb 27, 2025 · Advisor changed firm · fact
N••••••• A••••• F••••••• left D••••••••• F••• A••••••• L• for T••••••• W••••• M••••••••• (registered 2024-08-14)
Aug 1, 2024 · Advisor changed firm · fact
N••••••• A••••• F••••••• left B••••• F•••••••• S••••••••• C•••• for D••••••••• F••• A••••••• L• (registered 2024-05-28)
Jan 28, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: STATE REGISTEREDderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address